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NOTE ADVISORS, LLC

dba NOTE ADVISORS, LLC · CRD 171466 · Registered Investment Adviser

NOTE ADVISORS, LLC is a Registered Investment Adviser headquartered in BUFFALO, NY. The firm reports $436,965,505 in regulatory assets under management across 1,183 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$436,607,479
Non-discretionary$358,026
Total RAUM$436,965,505
Accounts1,183

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 171466. adviserinfo.sec.gov/firm/summary/171466.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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